DFX Intelligence

R•••••••• A•••• M••••••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

R•••••••• A•••• M••••••••• P•••••••• L••

CRD 283786

STAMFORD, CT

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Search this name across graphsid dfx:ria:11c4b852-869e-6e84-3137-ebb1ba56a1b9

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 3
Observed: Feb 13, 2017 to Mar 23, 2026
25 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

R•••••••• A•••• M••••••••• P•••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

R•••••••• A•••• M••••••••• P•••••••• L••

Capital provider to sponsors · shared crd

Private Creditidentity

R•••••••• A•••• M••••••••• P•••••••• L••

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.81 fund_share=0.17 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $388M••• Locked
Discretionary RAUM: $388M
Private client RAUM: $313Mderived••• Locked
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $388Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• W•••••• R•••••••	n/a	STAMFORD, CT	7	20	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••••••• A•••• M••••••••• O••••••••• F••• I•• L•	Private Equity Fund	$19.1M	Mar 23, 2026	29	Mar 24, 2022	reported	021-410330
R•••••••• A•••• M••••••••• O••••••••• F•••• L•	Private Equity Fund	$16.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••••• M••••••• W••••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	09/2015	Feb 13, 2017	Jun 28, 2024
S•••••• A••• T••••••	CHIEF OPERATING OFFICER	Na	yes	02/2019	Mar 16, 2021	Jun 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••••• G• I•• L••	n/a	n/a	n/a	Y	yes	n/a
R•••••••• G• I••• L••	n/a	n/a	n/a	Y	yes	n/a
R•••••••• G• I•• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$388M	$321M	20.7%	$209M	22.9%	3	3	0	0

Relationships

Advises (7)

→ R•••••••• A•••• M••••••••• O••••••••• F••• I•• L•Private fundPrivate Equity Fund, IA
Mar 24, 2022 to presentfactForm ADV
→ R•••••••• A•••• M••••••••• O••••••••• F•••• L•Private fundPrivate Equity Fund, IA
Jan 15, 2019 to presentfactForm ADV
→ R•••••••• A•••• M••••••••• R••• E••••• F•••• L•Private fundPrivate Equity Fund, IA
Mar 24, 2022 to presentfactForm ADV
→ R•••••••• D•• S•• L•

Dated events

Occurred
Mar 16, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 13, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11c4b852-869e-6e84-3137-ebb1ba56a1b9
First observed: Feb 13, 2017
Last observed: Mar 23, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.